Written by The White Law Group• November 29, 2023• 4:59 pm• Broker Investigations, FINRA SEC Sanctions

Aegis Advisor Keith Curtis Barred by FINRA

FINRA Bars Keith Curtis after Allegations of Conversion of Funds

According to public records, on November 16, 2023, FINRA, the self-regulator that oversees brokers and brokerage firms, has reportedly barred financial advisor Keith Curtis (CRD#: 4798755) from associating with any FINRA member at any time.

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Curtis reportedly refused to appear for on-the-record testimony in connection with FINRA’s investigation into his potential conversion of funds. By refusing to appear for on-the-record testimony as requested Curtis reportedly violated FINRA Rules 8210 and 2010.

FINRA Rule 8210(c) requires registered representatives to provide “information or testimony . . . pursuant to this Rule.” A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade in the conduct of their business.”

FINRA BrokerCheck Report – Keith Curtis

According to this FINRA BrokerCheck report, Keith Curtis was affiliated with the following firms during his career, among others:

06/17/2015 – 01/03/2022, AEGIS CAPITAL CORP. (CRD#:15007), TAMPA, FL,
B, 03/16/2010 – 06/17/2015, JHS CAPITAL ADVISORS, LLC (CRD#:112097), SARASOTA, FL
B, 06/13/2008 – 03/23/2010, GUNNALLEN FINANCIAL, INC (CRD#:17609), SARASOTA, FL

The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA.

FINRA BrokerCheck provides investors with detailed information about the professional history, qualifications, and regulatory actions of brokers and brokerage firms. Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them.

Filing a Complaint against your Brokerage Firm

When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.

If you have suffered investment losses with Keith Curtis and Aegis Capital Corp, the securities attorneys at the White Law Group may be able to help you. For a free consultation with a securities attorney, please call (888) 637-5510.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases.

Our firm represents investors in all types of securities related claims, including claims involving stock fraud, broker misrepresentation, churning, unsuitable investments, selling away, and unauthorized trading, among many others.

With over 30 years of securities law experience, The White Law Group has the expertise to help investors to recover their securities fraud losses. For more information, please visit our website, www.whitesecuritieslaw.com.